best practice master planning guidelines & resources document master planning guidelines...
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Best Practice
Master Planning Guidelines
& Resources Document
Prepared by: The Georgia Association of Water Professionals Integrated Master Planning Committee
December 2011 Updated December 2015
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
i
Acknowledgements
Acknowledgements
The Georgia Association of Water Professionals Integrated Master Planning Committee was
established in December 2009. The purpose of the Master Planning Committee is to identify,
discuss, and promote approaches to sustainable water resources master planning efforts.
The Master Planning Committee developed this set of Best Practice Master Planning Guidelines
and Resources to provide utilities and municipalities serving communities of all sizes and
locations within the State of Georgia with best practice approaches and strategies to
developing and implementing master plans. The following individuals contributed to the
development of the initial issue of these Guidelines in 2011:
Brian Skeens
Brooke Anderson
Colin Decker
Corey Babb
Courtney Reich
Dieter Franz
Don Joffe
Donna Joe
Dwight Wicks
Elio Arniella
Frank Banks
Janeane Giarrusso
Jerri Russell
John Clayton
Ken Jacob
Kim Holland
Kirk Wimber
Marcie Seleb
Paula Feldman
Rick Brownlow
Rita Neely
Ron Peters
Tai-Yi Su
Tom Ginn
Terry Moy
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Disclaimer
Disclaimer
It is very important to understand several assumptions when using the Best Practice Master
Planning Guidelines and Resources Document:
The master planning process described is generalized and one size doesn’t fit all. Utilities in Georgia take many different organizational forms, not only in the service types they provide (water, wastewater, and/or stormwater), but also in their jurisdictions and forms of governance.
Parts of the process may apply to your utility, other parts may not. The Committee’s intent is to offer a buffet of master planning practices, so please feel free to pick and choose the ones applicable to your needs.
Nothing in these documents should be assumed to have any regulatory intent or to specify any standards. The Guidelines and Outline are offered for information only, with the hope of improving the practice and efficacy of master planning in water-related fields.
Neither the Georgia Association of Water Professionals nor the Integrated Master Planning Committee or any of its members is liable for use or misuse of the Best Practice Master Planning Guidelines and Resources Document.
The Best Practice Master Planning Guidelines and Resources Document is not copyrighted, but if quoting, users agree to credit and give reference to the Georgia Association of Water Professionals.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
iii
Forward
Forward
I have to admit that the concept of master planning has gotten kind of a bad reputation with
me. It wasn’t always that way. In fact, I went to college, with stars in my eyes, to become a
community planner. One of the few things I remember about that schooling is that most of the
time, the “science of muddling through” is the actual planning process used, no matter what we
put down on paper. In the ensuing years, I’ve learned that most of the time, the following
correlations apply to formal utility planning:
The master plan is undertaken because a higher authority made you do it, not because you thought it was a good idea.
The eyes of the council, board, or staff immediately glaze over when the words "master plan" are spoken.
The master planning process becomes a tedious exercise that has very little to do with the real-life operations of the system.
The money spent on the master plan could have been better used getting on with what you knew you needed to do anyway.
If you’re wondering why a bah-humbug plan-basher is writing a forward to this document, it’s
because I’d rather be honest than be bureaucratically correct, and I want even the most
reluctant plan writer to know that someone understands where they're coming from. It’s also
because I still suspect that if one uses a reasonable procedure, master planning can do a better
job than simply muddling through.
The GAWP Integrated Master Planning Committee has undertaken the formidable task of
assembling a set of Best Practice Master Planning Guidelines and Resources that can be used to
put together a master planning procedure for your system. This is something we’ve needed for
a long time. It is based upon previous processes that worked. It is a great starting point. In the
coming years, the committee will continue to refine the guidelines and to provide great training
on what has been done by other Utilities/municipalities.
Review the guidelines, and tinker with them until you have an outline for a master planning
process that makes sense for your system. Understand that the process can, and should, be
adjusted to fit system size and complexity. Don’t give your process away to a consultant, but do
use the consultant to fill in the voids where there is not sufficient local staff time or expertise to
get the job done. Think about efficiency, communication, and the involvement of as many
people as possible. Don’t expect that everyone who should be involved will think the process is
all that important, but do work to wind up with a plan that at least everyone knows about and
that most everyone supports. All of us on the GAWP Master Planning Committee send our best
wishes for your planning efforts.
-Marcie Seleb, Butts County et al. Water & Sewer Authority
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Table of Contents Acknowledgements .................................................................................................................................... i
Disclaimer .................................................................................................................................................. ii
Forward ................................................................................................................................................... iii
Chapter 1: Introduction ........................................................................................................................... 1
Chapter 2: Master Plan Drivers ................................................................................................................. 3
Chapter 3: Best Practice Master Plan Development & Implementation Process .................................... 4
Chapter 4: Data Inputs ............................................................................................................................. 6
Data Input Strategic Direction ............................................................................................................. 7
Data Input Financial Information ........................................................................................................ 8
Data Input Facility Operations/Asset Information .............................................................................. 9
Data Input Projections ....................................................................................................................... 10
Data Input Driving Regulations .......................................................................................................... 11
Data Input Project Improvement List ................................................................................................ 12
Data Input Stakeholder/Public Communications .............................................................................. 13
Chapter 5: Master Planning Steps .......................................................................................................... 15
Step 1: Identify Drivers/Framework Goals ........................................................................................ 16
Step 2: Collect Data ........................................................................................................................... 17
Step 3: Analyze Data ......................................................................................................................... 18
Step 4: Identify/Analyze Options ...................................................................................................... 20
Step 5: Prioritize Options ................................................................................................................... 21
Step 6: Evaluate Projects/Programs Against Funding ........................................................................ 22
Step 7: Select Projects/Programs ...................................................................................................... 23
Step 8: Update Master Plan and Distribute to Stakeholders ............................................................. 24
Step 9: Manage and Track Projects/Programs ................................................................................... 25
Current versions of this and related master planning documents can be found on the
GAWP Technical Resources Page, accessed at http://gawp.org/
The Integrated Master Planning Committee hopes that this document is useful to you. Please
feel free to contact the committee chairperson through the GAWP Integrated Master Planning
Committee web page (www.gawp.org) if you have questions or feedback, or desire more
information about the Integrated Master Planning Committee.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Chapter 1: Introduction
Chapter 1: Introduction
The Best Practice Master Planning Guidelines and Resources Document has been prepared by
the Georgia Association of Water Professionals Integrated Master Planning Committee (Master
Planning Committee). This document is intended to help educate and empower utility
managers, directors, and governing boards to prepare and implement master plans that set the
vision and direction for maintaining and managing various water system assets and
organizational components. Some of the assets and organizational issues often addressed in a
master plan include raw water supplies (ground and surface waters), reservoirs, treatment
facilities, distribution and collection systems, reclaimed water use and disposal, and financial
impacts and rate setting.
The Best Practice Master Planning Guidelines and Resources Document was developed to
serve as a “tool box” for water, wastewater, and stormwater master planning efforts
undertaken by utilities of varying sizes. It is recognized that every utility is unique, so the ideas
presented in this document will most likely have to be adapted to fit a unique circumstance or
condition. In this document you will find information about the following aspects of master
planning:
What generally triggers the need for a master plan?
A best practice master plan development and implementation process
General information and data needed to develop a master plan
References to tools and resources that can be used to support you through each step of the master planning process
Lessons learned/challenges that helped shape these guidelines and resources
When prepared and implemented using a process that fits an organization, a master plan
should reflect a vision and include a strategic plan for achieving that vision over a specified
period of time (i.e., 5 years, 10 years, 25 years). A master plan can provide justification for a
rate increase, help ensure that different departments understand and identify the best time for
activities, and coordinate utility-wide and jurisdiction-wide planning and development efforts.
The planning process should include the multiple stakeholders internal and external to the
organization. These stakeholders should work together to make decisions using data generated
from their respective areas at a specified interval that aligns with how frequent the master plan
drivers change.
Typical drivers for developing or updating a master plan are listed in Chapter 2, Master Plan
Drivers. Implementing a process that involves frequent communication among stakeholders
helps to change the use of a master plan from an “on-the-shelf” document to dynamic decision-
making tool.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Chapter 3, Best Practice Master Planning Development and Implementation Process includes
a process that encourages a more comprehensive and dynamic approach to master planning
than has traditionally been followed. The process outlined in Chapter 3 also supports frequent
communication among stakeholders and checking of assumptions associated with data inputs
to maintain the master plan as a dynamic decision-making tool.
Chapter 4, Data Inputs lists the data to be considered when developing a master plan and the
major activities associated with that data input to assist with keeping the master plan updated
over time.
Chapter 5, Master Planning Steps lists the major activities, supporting tools, considerations,
and resources to assist you with implementation of each step in the best practice master
planning development and implementation process.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Chapter 2: Master Plan Drivers
Chapter 2: Master Plan Drivers
A water, wastewater, or stormwater master plan may be developed or updated for a variety of
reasons. The following is a list of common drivers that typically trigger the need for
development of or update to a master plan:
Growth and development (changing growth patterns, changing projections, higher/lower population densities, employment changes, unknowns)
Facility operations (includes asset management, staffing, training, safety, crew dispatching, environmental compliance [lab analyses, grease management, backflow prevention, and industrial pretreatment], linear asset system maintenance, asset renewal and associated budgeting, warehouses, SCADA, pump and lift stations, and water and wastewater treatment facilities).
Economic conditions (external—i.e., recession, property vacancy rates, foreclosures) – matching customer needs with economic reality
Financial changes within the utility (rate setting, bond ratings, inability to secure funding)
Level of Service (customer desires and expectations, affordability).
Regulatory changes (water supply, wasteload allocations, watering restrictions and other water conservation measures, permit limit changes, inter-basin transfers, development regulations, new or amended water quality criteria, stormwater requirements)
Demographic changes
Political changes
Policy changes (pay as you go vs. debt financing, development policies)
Alignment with other local plans (comprehensive plan, regional water plans, etc.)
Desire to pull a wide variety of efforts into a comprehensive whole
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Chapter 3: Best Practice Master Plan Development &
Implementation Process
Chapter 3: Best Practice Master Plan Development & Implementation Process
Implementing water, wastewater, and stormwater master plans has presented many challenges
for utilities and municipalities throughout the State of Georgia and is becoming more and more
complex with economic, social, and environmental pressures. As we increase our awareness of
how we think about the value of master plans and the master planning process, we have an
opportunity to address some of the issues we have had with implementation in the past. We
can accomplish this through a change in the way we have traditionally developed our master
plans and how we keep them updated.
While every utility/municipality is unique, a general best-practice master planning approach,
outlined in Figure 3.1, can be applied to master planning efforts. The best practice approach
shows that when developing or updating a master plan, a series of data inputs must be
considered. Some of these inputs are documents/efforts already in existence at certain
utilities/municipalities, and some can be developed specifically for the master plan. Each data
input should be assigned to an individual who is accountable for overseeing that input and
communicating with internal and external groups as necessary to obtain up-to-date information
and data. The group of assigned individuals, the master plan team’ should meet regularly at
defined intervals (i.e., once every 3 months, once every 6 months, etc.) to discuss changes that
may impact the master plan. A change (i.e., a new regulation) can trigger the need to revisit an
existing master plan and determine if an update to the resulting list of projects and programs is
needed.
There is great value in the process of developing a master plan and keeping it updated. It is
these processes that promote the communication among stakeholders and the master plan
team needed to keep a master plan up to date, dynamic, and useful as a decision-making tool.
When a master plan is being developed, it is an opportunity to engage stakeholders and the
public and elevate strategic planning. Engaging the right stakeholders can lead to more efficient
and informed decision making and consequently, a more sustainable, comprehensive, and
usable master plan.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Best Practice Master Plan Development & Implementation Process
2 ) Collect Data 3 ) Analyze Data
4 ) Identify / Analyze Options
5 ) Prioritize Options
6 ) Evaluate Projects / Programs against Funding
7 ) Select Projects / Programs
Strategic Direction Financial Information
Facility Operations / Asset
Information Projections Driving
Regulations Project
Improvement List Stakeholder / Public Communications
9 ) Manage and Track Projects /
Programs
8 ) Update Master Plan and
Distribute to Stakeholders
Master Plan Document
Data Inputs
Master Planning Steps 1 ) Identify Drivers / Framework Goals
CIP Budget Needs
O & M Budget Needs
Feedback to Data Inputs Notes:
The master plan process
is a continuous, cyclical,
and interactive process.
The process yields
feedback to inputs.
Individual staff of a
utility/municipality can be
assigned to one of the
data inputs, which
becomes there are of
responsibility. These staff
members form the
master plan team.
The master plan team
should meet regularly to
discuss updates to each
data input and resulting
impacts to the master
plan document and
budget needs.
Figure 3.1
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Chapter 4: Data Inputs
Chapter 4: Data Inputs
The data inputs outlined and defined in Chapter 4 are presented to assist in the identification of
the types of information and data that can influence the projects and programs contained in a
master plan. These inputs should be considered when initially developing a master plan and can
be assigned to individuals who will be accountable for understanding them and documenting
changes over time. Data inputs build the assumptions on which we base our master plan and a
change to a data input can result in a change to assumptions and—ultimately—a change to a
project or program. Monitoring the data inputs and assumptions on which we base our
master plans on a routine basis is critical to keeping the master plan dynamic and responding
to our changing environment. It is also important to consider the quality of data being used to
develop the master plan and if there is more than one place where the same data is being
maintained. It is a best practice to identify a system record, where data will be maintained, and
a process for keeping it updated to avoid inaccuracies and overlap. Data typically needed when
developing a master plan and typical sources are listed in Figure 4.1 and on the remaining pages
in this chapter.
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize
Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
Data Inputs
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M
Budget
Needs
Feedback to Data Inputs
Figure 4.1
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Strategic Direction
Data for Master Plan Vision
Mission
Goals
Objectives
Key Performance Indicators (measures progress toward goals)
Typical Data Sources Management
Strategic initiatives or goals
Key Performance Indicator Report – from work management system
Major Activities Ensure the master plan supports the organization’s vision, mission, goals, and
strategic objectives
Seek to get new strategies, as identified through the master plan development process, integrated into the organization’s vision, mission, goals and strategic objectives
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Financial Information
Data for Master Plan Capital needs
Operations and maintenance needs
Revenue/profits (past, existing, and anticipated future)
Rates
Bond cycles
Grant opportunities
Typical Data Sources Customer Information Systems (CIS)
Computerized Maintenance Management Systems (CMMS)
Financial Department
Georgia Environmental Finance Authority
Major Activities Maintain Financial Model
If a Financial Model is not developed, identify cost to provide service and revenue stream
Align rates with customers’ and stakeholders’ expected Level of Service (LOS)
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Facility Operations/Asset Information
Data for Master Plan Inventory assets
Condition assessment of assets
Residual life determination of assets
Target Levels of Service (LOS)
Business Risk Exposure (BRE) (cause/consequence of failures)
Asset criticality
Appropriate maintenance (asset renewal to include either repair, rehabilitation, or replacement)
Appropriate capital investment plan/funding strategy
Asset Management Plan
Rehabilitation & Replacement (R&R) projects
Typical Data Sources Geographic Information Systems (GIS)
Computerized Maintenance Management Systems (CMMS)
Regulatory permit requirements
Major Activities Ensure that the master plan considers all of the organization’s assets
Ensure that the master plan identifies prioritized future system needs based on existing asset condition and anticipated future asset condition (considering deterioration rates, historical failures, replacement cycles, repair and replacement strategies, and desired LOS)
Ensure that the master plan includes programs to address causes of failures
Ensure the asset management plan informs the master plan of demand-based needs
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Projections
Data for Master Plan Population projections
Employment trends/projections
Land use
Zoning
Service areas – short term (5 years), transitional (20 years), no service
Typical Data Sources Planning Departments
Regional Centers
Census Bureau
Major Activities Maintain communication with the local planning department to identify
changes in population projections
Maintain communication with the local planning department to identify changes associated with major industries that could affect water usage.
Maintain communication with the local planning department to identify changes in land use (if build out conditions are prepared).
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Driving Regulations
Data for Master Plan Current regulations and requirements
Anticipated future regulations, dates, and requirements
Typical Data Sources Management
Law Department
Laboratory
Major Activities Maintain spreadsheet of existing regulations, requirements, and dates
Identify staff responsible for implementing/delivering on existing requirements
Maintain listing of anticipated future regulations, requirements, and dates
Participate in relevant state and regional discussions about anticipated regulations and requirements
Assess impacts of new regulations to system operations and development
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Project Improvement List
Data for Master Plan Capital Improvement Program (CIP) projects
CIP programs
Renewal projects composed of repair, rehabilitation, and replacement projects
Typical Data Sources Master Plan
Renewal Project List Computerized Maintenance Management System (CMMS)
Major Activities Maintain listing of capital projects from the master plan
Maintain listing of programs needed for master plan
Maintain listing of R&R projects
Identify a process for staff to communicate needs
Confirm costing for projects and programs
Annually assess/confirm needs for project/programs
Obtain review/input/buy-in from operations staff for all proposed projects and programs
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Data Input Stakeholder/Public Communications
Data for Master Plan Internal stakeholders, goals, needs, and concerns (see sample list)
External stakeholders, goals, needs, and concerns (see sample list)
Other plans’ goals and objectives, programs, and projects
Typical Data Sources Stakeholder Master Plans/Strategic Direction Plans
Major Activities Identify internal and external stakeholder, goals, needs, and concerns that could affect
the need for management of water
Identify other plans’ goals and objectives that may affect the master plan goals and objectives
Identify, manage, and influence stakeholder input requirements that affect the management of water
Develop and implement a communications strategy with stakeholders/public to assist with implementing key programs and projects
Identify frequency and timing for stakeholder/public interaction to streamline planning and implementation of programs and projects
Summarize activities into a stakeholder/public communication plan
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Data Input Summary
Sample List of Stakeholders
Internal Stakeholders
Finance Department
Fire Department
Human Resources Department
Information Technology
Legal Department
Legislative Bodies
Parks, Recreation and Cultural Affairs Departments
Planning Department
Police Department
Procurement Department
Public Works Department
Stormwater Department
Water Department
Wastewater Department
External Stakeholders
Academic Groups/Schools
Retail & Wholesale Customers/ Large Users
Environmental Organizations
Georgia Association of Water Professionals (GAWP)
Georgia Department of Health
Georgia Department of Transportation (GDOT)
Georgia Forestry Commission
Non-Profit Organizations
Planning Organizations
Atlanta Regional Commission
Metropolitan North Georgia Water Planning District or Basin Council
State Water Planning Commission
Private Contractors & Consultants
Neighbors, Community Groups and Associations, Local Public Office Holders
Data Input Stakeholder/Public
Communication Plan
Sample List of Plans
Asset Management Plan
Strategic Plan
Regional Plans
State Plans
Comprehensive Plans
Land Use and Zoning Plans
Community Agendas
Local Plans
CIP Plans
Management Plans
Facility Plans
Service Delivery Strategies
Transportation Plans
Water Conservation Plans
Drought Plans
Development Plans
Energy Plans
Wellhead Protection Plans
Watershed Protection Plans
Watershed Improvement Plans
Watershed Management Plans
Stormwater Management Plans
Water Reuse Plans
Emergency Management Plans
Security Plans
Economic Development Plans
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
15
Chapter 5: Master Planning Steps
Chapter 5: Master Planning Steps
The Master Planning Steps outlined in Figure 5.1 and described in this chapter are intended to
assist utilities/municipalities with identification of the major activities that should be
implemented over time to maintain a dynamic and up-to-date master plan. These steps are
recommended when initially developing a master plan and as an ongoing and continuous
process to ensure that the master plan reflects current conditions and can be used as a tool and
resource when making decisions.
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize
Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
Strategic Direction Financial
Information
Facility
Operations/Asset
Information
Projections Driving
Regulations
Project
Improvement List
Stakeholder/Public
Communications
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
Data Inputs
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M
Budget
Needs
Feedback to Data Inputs
Figure 5.1
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
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Process Step
Process Step 1: Identify Drivers/Framework Goals
Purpose: To identify the reason(s) for developing a master plan and to formulate
them into a set of measurable goals and objectives. Major Activities
Identify the initial reasons for promoting the development of a master plan.
Identify the intended universe to be covered by the master plan (i.e., capital projects, asset management, data and tool development, etc.)
Determine the planning time frame to be considered.
Identify stakeholders associated with the envisioned plan.
Communicate with stakeholders to determine stakeholder willingness to participate and stakeholder expectations/desires with respect to master plan goals and objectives.
Define goals of master plan.
Supporting Tools Vision Statements
Mission Statements
Strategic Goals
Considerations Management support for developing the master plan
Stakeholder support for developing the master plan
Availability of resources for developing the master plan
Availability and sustainability of resources for maintaining the master plan
Typical drivers include the desire to have a comprehensive, cohesive plan for achieving organizational goals and objectives, including determining how to meet demand for growth and development, improve system performance, catch up on neglected maintenance, reduce capital and/or operating costs, balance funding with project needs, demonstrate the need for additional funding, etc.
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
17
Process Step
Process Step 2: Collect Data
Purpose: To collect data and information needed to prioritize needed
programs and projects. Major Activities
Manage data needed for master plan: See Chapter 4: Data Inputs.
Facilitate monthly meetings between data input providers.
Maintain listing of data needed from each data component.
Coordinate communication among data input providers when changes occur.
Coordinate data collection with upcoming analysis needs.
Supporting Tools Data tracking worksheets
Data input lists
Considerations Data accuracy
Frequency of updates
Communication processes
Tracking changes processes
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
18
Process Step
Major Activities Compile data for future service population and water use trends, and develop a
demand forecast. o Use historical data to develop/determine relationships between regional
characteristics (e.g., population, per-capita use trends, price of water, income, weather) and demand.
o Apply projected regional data to historical relationships to develop demand forecast.
o Forecast demand by sub-region of the service area, if possible. o Include multiple demand forecast scenarios reflecting different potential
regional growth scenarios, if possible.
Assess the sufficiency of the utility’s system and assets to meet current and future demands.
o System inventory data Evaluate system components and assets that are most critical to
meeting current and projected demand (severe consequences of failure) Identify where infrastructure is not yet in existence or insufficient to
meet projected demand o System condition data
Evaluate the condition of critical system components and assets Estimate the likelihood of failure and remaining useful life of critical
assets
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
Process Step 3: Analyze Data
Purpose: To convert and process data
collected in the data collection step to forms that
directly indicate the current state of utility
operations and the future conditions that will
drive changes in utility infrastructure, operations,
and policy.
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
19
Process Step
Process Step 2: Collect Data
Process Step 3 (continued): Analyze Data
Supporting Tools System condition resources
o System component inventory o System component histories (age, persistent maintenance, failure, cost issues) o Updated condition assessments and inspections o System inventory and tracking information (CMMS software, work-order
tracking software, databases, as-built drawings, maintenance records) o System models/operator knowledge for evaluating criticality o Other process results from Asset Management
Demand modeling resources o Regional projections from planning agencies o Historical data: customer databases, consumption records, regional
characteristics (population, water rates, weather, etc.) o Modeling and analysis software:
GIS and databases (storing, organizing, and maintaining multiple historical and projected data sources)
Demand modeling o Demand forecast professionals: economists, engineers, database/GIS specialists
Considerations Demand forecasting
o Frequency of regional projection updates o Variability of projection values between updates o Changing availability of particular projection variables over time o Availability of alternative projection scenarios o Availability and detail of historical water use, customer, and regional data o Ability to develop forecasts in-house (versus need for external modeling and
data processing assistance)
System condition assessment o Existence and maturity of asset management or asset management -like
programs o Degree of detail in system inventory and condition information o Degree to which this information is kept current o System knowledge retention in the face of employment turnover and
retirement o Ability to perform criticality and condition assessment analyses
in-house (versus need for asset management professionals)
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
20
Process Step
Process Step 4: Identify/Analyze Options
Purpose: To identify options for providing service that support anticipated
growth and development and that meet expected levels of service and strategic goals.
Options could include:
Will plants/water/sewer lines need to be constructed/expanded to meet demand?
Can the increases be delayed by water conservation measures?
Can leak detection and repair delay the need for construction?
Can water be purchased from another municipality?
Can sewage be pumped to another treatment plant?
Can an industry with high water usage be converted to a process that uses less or no water?
Can processes be changed or reorganized to make them more efficient and alleviate needs?
Instead of replacing sewer lines, can more aggressive FOG enforcement and sewer line cleaning reduce the number of overflows instead of expanding the sewer capacity?
If flows are projected to go in the opposite direction, can the system sell capacity to a neighbor in order to have the funds to maintain equipment?
Can maintenance be improved such that facility/pipeline development and/or replacement can be postponed?
Major Activities Compare population projections to water/wastewater/stormwater needs
Profile user groups
Perform water loss evaluations
Evaluate water loss audit data
Perform system evaluations: plant age, water/sewer line age and capacities
Conduct rate evaluations
Ensure understanding of inter-jurisdictional needs
Hydraulic modeling
Supporting Tools Business case evaluations
Excel spreadsheets – linear regression models
Considerations Future costs and inflation
Staffing
Political desires
Operations group review of options
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
21
Process Step
Process Step 5: Prioritize Options
Purpose: To prioritize the projects/programs recommended for action under
Step 4 -Identify/Analyze Options.
Major Activities Determine the process to be used for prioritizing projects/programs
Identify the criteria to be used for comparing projects/programs
Apply the process and criteria to the projects/programs
Determine if the resulting prioritization makes sense based on professional judgment
Modify the process and criteria until the resulting prioritization aligns with professional judgment
Refine the process and criteria over time to improve the results
Obtain Operations group input to the prioritization process
Supporting Tools Mission Statement
Organizational Goals & Objectives
Defined Service Levels
Compliance Criteria
Stakeholder Analysis
Required Project Sequencing
Considerations You may not be able to define a process that provides uniformly consistent results
The process and criteria may only take you so far and then professional judgment or executive decision making may have to take precedence
It is easier to prioritize within a service sector (e.g., water, wastewater, stormwater) than across service sectors
Simple is good
When creating a scoring process, look at the relative equality of the requirements for achieving a given score across the categories
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
22
Process Step
Process Step 6: Evaluate Projects/Programs
Against Funding
Purpose: To assess funding strategies and prepare a plan/strategy to finance
needed projects and programs.
Major Activities Identify operating budgets
Identify needed capital
Assess bond needs
Assess rates to cover the expenses or repay the bonds
Assess whether state revolving funds are available
Assess whether grants are available
Evaluate a stormwater utility as a funding source
Can a project or projects be modified to gain funding from a grant?
Identify scheduling opportunities to delay or eliminate extra expenses (i.e., can projects can be implemented in phases to spread the costs over a longer
period of time? This tactic could lower the interest paid until funds are actually
used)
Assess whether funding could be covered by connection fees or a special options sales tax
Assess combinations of funding strategies
Supporting Tools Spreadsheets
Required reserves
Credit agencies ratings
Current interest rates
Considerations Financial planning can be a very political process. Rate payers normally are
uneasy about a reason to pay more either though rate increases or extra fees or taxes. Are current interest rates acceptable for loans or bonds?
What covenants go along with the funding that may hinder the process?
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
23
Process Step
Major Activities Select projects/programs for implementation based on the results of the financial
evaluation presented in Step 6
Explain the rationale behind the alternative selected. Selection could be based on least cost. However, the selection of an alternative could also be driven by public acceptance or environmental benefits
Develop or update Capital Improvement Plan (CIP) budgets to include selected projects/programs, their anticipated costs, and their target installation dates
Develop a schedule to match funding
Supporting Tools Existing Financial Plan, including anticipated revenue and impact fees, existing debt
service, etc.
Cost-estimating tools (could be as simple as bid tabulations from recent projects)
Life-cycle costing
Considerations Uncertainty in projected revenue (slower growth or watering restrictions)
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
Purpose: To recommend an
alternative for implementation from
the list of alternatives defined in
Process Step 6 (Evaluate
Projects/Programs against Funding)
and present an implementation plan
for the selected projects and
programs.
Process Step 7: Select Projects/Programs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
24
Process Step
Process Step 8: Update Master Plan and Distribute
to Stakeholders
Purpose: To incorporate edits that need to be made to the master plan document
as a result of changing conditions and communicate those changes to Stakeholders.
Major Activities Make text edits to the master plan document
Maintain a version history and why changes were made
Establish a document management and distribution plan
Supporting Tools Document management
software
Considerations Stakeholder access
Document management rules
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs
BEST PRACTICE MASTER PLAN GUIDELINES AND RESOURCES
Prepared by the Integrated Master Planning Committee | December 2011 Updated December 2015
25
Process Step
Process Step 9: Manage and Track
Projects/Programs
Purpose: To identify and track metrics [Key Performance Indicators (KPIs)] that
provide information about progress toward established master plan projects/program
goals.
Major Activities Identify master plan goals
Identify metrics (KPIs) that can track progress on reaching master plan goals
Identify how KPI data is collected/can be gathered
Establish a reporting mechanism and frequency to report on progress towards master plan goals/drivers
Identify how project/program progress impacts data inputs
Supporting Tools Project Management software
Enterprise Application Integration tools
Work Order Management Systems
Excel spreadsheets
Considerations Limit KPIs to those that provide
information for decision making
KPIs can change when goals change
Develop a communication plan to report progress on program/project goals so changes can be made as needed
2) Collect Data 3) Analyze Data
4) Identify/Analyze
Options
5) Prioritize Options
6) Evaluate
Projects/Programs
against Funding
7) Select Projects/
Programs
9) Manage and
Track Projects/
Programs
8) Update Master
Plan and
Distribute to
Stakeholders
Master Plan
Document
=Process
Step=
Data/
DocumentsData Flow/
Workflow=
Master Planning Steps1) Identify Drivers/
Framework Goals
CIP Budget
Needs
O&M Budget
Needs
Feedback to Data Inputs